LUKENS JOSEPH THEODORE JR 4
4 · Workhorse Group Inc. · Filed Jul 10, 2020
Insider Transaction Report
Form 4
LUKENS JOSEPH THEODORE JR
10% Owner
Transactions
- Purchase
Common Stock
2018-04-30$2.82/sh+36,765$103,677→ 7,007,048 total(indirect: See Footnotes) - Sale
Common Stock
2020-02-18$3.36/sh−83,644$281,044→ 6,957,203 total(indirect: See Footnotes) - Sale
Common Stock
2020-02-25$3.70/sh−200$740→ 6,952,057 total(indirect: See Footnotes) - Sale
Common Stock
2020-02-26$3.62/sh−61,700$223,354→ 6,890,357 total(indirect: See Footnotes) - Sale
Common Stock
2020-04-05$3.24/sh−18,154$58,819→ 6,757,203 total(indirect: See Footnotes) - Sale
Common Stock
2020-06-30$18.40/sh−500,000$9,200,000→ 5,602,422 total(indirect: See Footnotes) - Other
Common Stock
2020-07-07−1,500,000→ 4,002,422 total(indirect: See Footnotes) - Other
Common Stock
2020-07-07+1,500,000→ 1,500,000 total - Sale
Common Stock
2019-07-16$3.60/sh−267,356$962,482→ 7,149,847 total(indirect: See Footnotes) - Sale
Common Stock
2020-02-21$3.90/sh−4,946$19,289→ 6,952,257 total(indirect: See Footnotes) - Sale
Common Stock
2020-03-03$2.99/sh−100,000$299,000→ 6,790,357 total(indirect: See Footnotes) - Other
Common Stock
2020-05-20−654,781→ 6,102,422 total(indirect: See Footnotes) - Exercise/Conversion
Common Stock
2018-06-14+410,155→ 7,417,203 total(indirect: See Footnotes) - Gift
Common Stock
2019-12-23−77,435→ 0 total(indirect: By Foundation) - Exercise/Conversion
Common Stock Purchase Warrant
2018-06-14−585,936→ 0 total(indirect: See Footnotes)Exercise: $3.80From: 2017-09-18Exp: 2022-09-18→ Common Stock (585,936 underlying) - Sale
Common Stock
2019-07-22$3.48/sh−109,000$379,320→ 7,040,847 total(indirect: See Footnotes) - Sale
Common Stock
2020-03-11$2.36/sh−15,000$35,400→ 6,775,357 total(indirect: See Footnotes) - Sale
Common Stock
2020-07-01$20.00/sh−100,000$2,000,000→ 5,502,422 total(indirect: See Footnotes) - Gift
Common Stock
2019-09-03−77,436→ 77,435 total(indirect: By Foundation)
Footnotes (3)
- [F1]Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- [F2]New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer.
- [F3]In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners.